Our Pledge to the Investment Management Community
Pellegrino, LLC blends legal acumen and investment management expertise. As a boutique law firm, we work exclusively with investment advisers, money managers, investment companies, independent directors and trustees, and other service providers in the financial services industry. We provide timely and practical legal advice to assist our clients as they transpose strategy into action. Pellegrino, LLC understands that investment advisers need lawyers who know the law and comprehend their businesses. Our deep expertise in both the regulatory framework and real-life investment management business practices enables us to earn the confidence of our clients who increasingly want the same lawyer to advise them on strategic decisions and help them implement them as practical solutions.
About Pellegrino, LLC
Based on the belief that niche-focus produces powerful results, Pellegrino, LLC has built a reputation for practical, reliable, and responsive guidance. We understand that our clients work in a fast-paced, ever-changing industry where practical legal insight can make the difference between opportunity and liability. Our firm’s practice provides investment professionals and entities with more than just legal theory; we deliver straightforward strategies that add value to their businesses. Through advising in transactions such as product development, regulatory compliance, and interactions with state or federal government agencies, we ensure the continuing success of our clients.
To learn more about our approach and history, visit our About Pellegrino, LLC page.
Introducing Mr. Michael Pellegrino: Experience and Insight
At the helm of Pellegrino, LLC is Mr. Michael Pellegrino. Mr. Pellegrino is a seasoned practitioner whose expertise spans from major law firm practice to significant in-house industry experience. His impressive legal career includes working as an associate in the Investment Management practice at Morgan, Lewis and Bockius as well as the Financial Services practice at Drinker, Biddle and Reath, two of the nation’s largest law firms. Mr. Pellegrino’s industry experience is equally notable, having worked as Senior Counsel at Delaware Investments as well as Chief Compliance Officer and General Counsel at PFPC/ADVISORport. This unique combination provides Mr. Pellegrino with the ability to deliver a distinctive perspective – one that combines strong legal acumen with a practical appreciation for the day-to-day needs and challenges faced by industry investment management professionals. Deft communication, strategic thinking and unswerving commitment have made him a trusted partner to clients in the financial services industry.
Full-Service Law Firm for the Investment Management Industry
Pellegrino, LLC provides the broad range of legal services necessary to address the various diverse needs of the investment management industry. These services include:
- Legal advice and representation for investment advisers, money managers, investment companies and their boards
- Structure and support for all types of investment vehicles including separate accounts, unified managed accounts, mutual funds, closed-end funds, mutual fund wrap products and cash portals
- Drafting and negotiating key contracts including advisory agreements, sub-advisory agreements, transfer agency agreements, fund accounting agreements, sub-accounting agreements, regulatory administration agreements (also referred to as administration agreements), custody agreements, technology agreements, blue sky agreements, product participation agreements, recordkeeping agreements and online services agreements
- Advice concerning regulatory disclosure matters associated with Form ADV, registration statements, proxy statements, tender offer materials and SEC examinations
- Advice concerning the evaluation of compliance programs under Rules 38a-1 and 206(4)-7 and advertising and marketing material issues
By concentrating exclusively on the investment management industry and its uniquely tailored needs, Pellegrino, LLC is able to offer counsel that integrates relevant knowledge about both regulators’ focus and business imperatives.
A Hands-on, Cost-Effective Approach
We regard legal services as adding value-not cost-to your business. Pellegrino, LLC delivers efficient solutions and innovative legal advice, without sacrificing quality. Our business backgrounds allow our attorneys to recognize the difference between what is a matter of theory and what is a matter of necessity. Clients trust us to provide critical day-to-day legal support while keeping costs in line with their budgets. Pellegrino’s attorneys provide efficient solutions for every client, so clients don’t get dragged into unnecessary lawyer-fueled complexity or lose sight of their core purpose.
Clients and Industry Experience
Our clients include the spectrum of the investment management industry: from emerging investment advisers to traditional institutional managers, independent directors and trustees, and specialized service providers. Pellegrino, LLC has experience with a wide variety of investment products and operational vehicles that allows us to render advice on routine matters and highly complex transactions. Because we are familiar with the regulatory framework of the industry and stay abreast of developments affecting the industry, our clients can be assured of receiving timely, forward-looking advice.
Why work with Pellegrino, LLC?
When you engage Pellegrino, LLC, you choose a firm that knows your business, shares your objectives and is committed to your success. With our boutique platform, you have access to a level of subject matter expertise and granularity of focus that few can match. Our firm’s combination of major law firm and in-house experience provides you with counsel that is simultaneously technically sound and practical. We are proud of the depth of our experience, our capability to address a diverse set of investment products and arrangements, and our commitment to responsiveness and reliability. Most importantly, we consider ourselves your partners in success and provide you with advice that is customized, actionable and unequivocally in furtherance of your interests.
Geographical Areas
Pellegrino, LLC, is located in Wenonah, New Jersey. Our breadth of knowledge regarding federal regulatory requirements, coupled with our expertise on state-specific matters, gives us the ability to provide support to clients all across the United States in connection with their activities in the investment management space. We welcome the opportunity to be considered as a resource to those who seek responsive, informed advocacy in a highly regulated field.
Contact Pellegrino, LLC
If you are an investment adviser, money manager, investment company, independent director or trustee, or provider of services in the financial industry and are looking for specialized legal assistance, you can contact Pellegrino, LLC for a consultation. Our office location is: 4 East Cherry Street, Wenonah, N.J. 08090. To retain Mr. Michael Pellegrino and to schedule a consultation please call 856-292-8331 or fax your request to 856-504-0202. We look forward to working with you and enhancing your investment management business. See Mr. Pellegrino’s CV for more information as to his background and qualifications.
For more details or to reach out, please visit our Contact Pellegrino, LLC page.